Kind Consultancy is working with a specialist Business Finance provider which is currently seeking a Compliance Assistant to join their team based in the East Midlands.
The Compliance Assistant will report to the Compliance Coordinator, with key responsibilities including:
- Contributing to a robust compliance culture through assisting in the implementation of policies, procedures and processes
- Ensuring that business-wide initiatives are undertaken with consideration of all relevant regulatory policies, with a focus on FCA Consumer Credit obligations
- Maintaining policy and procedure documents in line with all business and regulatory requirements
- Conducting Compliance Assurance site visits to client businesses with sales-based associates and appointed representatives
- Reviewing and performing monitoring and business processes, reporting findings and remediation plans on a regular basis to management, keeping them informed of the operation and progress of compliance efforts
- Recommending corrective action plans to resolve issues
Our ideal candidate for the Compliance Assistant opportunity:
- Has previous experience of work in a regulated Financial Services environment
- Has some working knowledge of the FCA Handbook and CONC
- Is highly organised and professional, with strong IT skills including confident use of all Microsoft Office products
- Is willing to travel (approx 40% of work time)
- Is an excellent communicator in both writing and speech
- Has completed a GCSE level education, or holds an equivalent professional qualification
If you’re interested in the Compliance Assistant opportunity and you have the skills and experience we’re looking for, please apply with an up to date CV.